Free Series 99 License Practice Test Questions

Question # 13

Which of the following is a function of a transfer agent?

Options:

Clearing trades between counterparties

Maintaining shareholder records and distributing dividends

Reporting trades to regulators

Guaranteeing margin requirements

Viewing question 13 out of 75 questions

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Series 99 License Overview

Name	Series 99 License
Code	Series 99 License
Vendor	Finance, Insurance and Real Est
Certification	Financial Industry Regulatory Authority (FINRA)

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